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Notice Rule

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)

Registered Securities Associations, Financial Industry Regulatory Authority (FINRA)

Public Comments

Submit a Comment on SR-FINRA-2026-007

Last Reviewed or Updated: April 10, 2026

Resources

Notice Rule: SEC Issued Version (pdf 236.87 KB)

Exhibit 5

Details

Public Comments Due

May 1, 2026

File Number

SR-FINRA-2026-007

Rule Type

Notice

Release Number

34-105163

SEC Issue Date

April 7, 2026

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)

Public Comments

Resources

Details

More in this Section

Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)

Public Comments

Resources

Details